OTIS

SEC source: 0001225208-20-007621 · doc4.xml · derivative · entry 2

KEARNEY CHRISTOPHER J · CIK 0001248040 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,600

Underlying: Common Stock · 15,600 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Otis common stock.

F2 · derivative.exercise_date: The Restricted Stock Units and the Stock Appreciation Rights cliff vest on the third anniversary of the transaction date.

F1 · derivative.expiration_date: Each Restricted Stock Unit, including dividend equivalents that accrue during the vesting period, represents a contingent right to receive one share of Otis common stock.

SEC source: 0001225208-20-007621 · doc4.xml · nonDerivative · entry 1

KEARNEY CHRISTOPHER J · CIK 0001248040 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 2,797

SEC source: 0001225208-20-007622 · doc4.xml · derivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,716.878

Underlying: Common Stock · 3,590.041 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Otis Worldwide Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the Otis Worldwide Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the Otis Worldwide Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F2 · ownership.direct: The reporting person, who was previously a member of the UTC Board of Directors, received Otis Deferred Stock Units in connection with the spin-off of the issuer from UTC that were attributable to his prior service on the UTC Board of Directors. The total reported includes these Deferred Stock Units.

SEC source: 0001225208-20-007616 · doc4.xml · derivative · entry 1

Hannan Kathy Hopinkah · CIK 0001767813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,763.752

Underlying: Common Stock · 3,763.752 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Otis Worldwide Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the Otis Worldwide Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the Otis Worldwide Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

SEC source: 0001062993-21-001096 · form4a.xml · derivative · entry 1

MCGRAW HAROLD III · CIK 0001191761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,384.79

Underlying: Common Stock · 3,590.041 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these stock units under the Otis Worldwide Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.exercise_date: The reporting person acquired these stock units under the Otis Worldwide Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F1 · derivative.expiration_date: The reporting person acquired these stock units under the Otis Worldwide Corporation Board of Directors Deferred Stock Unit Plan (the Plan) in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.

F2 · ownership.direct: The reporting person, who was previously a member of the UTC Board of Directors, received Otis Deferred Stock Units in connection with the spin-off of the issuer from UTC that were attributable to his prior service on the UTC Board of Directors. The total previously reported overstated the number of deferred stock units the reporting person received for his prior service with UTC. The total also includes vested deferred restricted stock units that the reporting person received from UTC that were converted in the spin-off as they are equivalent to deferred stock units.

SEC source: 0001062993-21-001093 · form4.xml · nonDerivative · entry 6

PRESTON MARGARET M V · CIK 0001261238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406

F1 · kind: These transactions were made without the knowledge of the reporting person and the reporting person voluntarily paid to the issuer an amount equal to the short-swing profit liability attributable to the 7/24/2020 and 1/14/2021 transactions.

SEC source: 0001062993-21-001093 · form4.xml · nonDerivative · entry 5

PRESTON MARGARET M V · CIK 0001261238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400

F1 · kind: These transactions were made without the knowledge of the reporting person and the reporting person voluntarily paid to the issuer an amount equal to the short-swing profit liability attributable to the 7/24/2020 and 1/14/2021 transactions.

SEC source: 0001062993-21-001093 · form4.xml · nonDerivative · entry 4

PRESTON MARGARET M V · CIK 0001261238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392

F1 · kind: These transactions were made without the knowledge of the reporting person and the reporting person voluntarily paid to the issuer an amount equal to the short-swing profit liability attributable to the 7/24/2020 and 1/14/2021 transactions.

SEC source: 0001062993-21-001093 · form4.xml · nonDerivative · entry 3

PRESTON MARGARET M V · CIK 0001261238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 383

F1 · kind: These transactions were made without the knowledge of the reporting person and the reporting person voluntarily paid to the issuer an amount equal to the short-swing profit liability attributable to the 7/24/2020 and 1/14/2021 transactions.

SEC source: 0001062993-21-001093 · form4.xml · nonDerivative · entry 2

PRESTON MARGARET M V · CIK 0001261238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 377

F1 · kind: These transactions were made without the knowledge of the reporting person and the reporting person voluntarily paid to the issuer an amount equal to the short-swing profit liability attributable to the 7/24/2020 and 1/14/2021 transactions.

SEC source: 0001062993-21-001093 · form4.xml · nonDerivative · entry 1

PRESTON MARGARET M V · CIK 0001261238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368

F1 · kind: These transactions were made without the knowledge of the reporting person and the reporting person voluntarily paid to the issuer an amount equal to the short-swing profit liability attributable to the 7/24/2020 and 1/14/2021 transactions.

SEC source: 0001140361-20-006610 · form4.xml · nonDerivative · entry 1

UNITED TECHNOLOGIES CORP /DE/ · CIK 0000101829 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The record date for the distribution by United Technologies Corporation of 100% of the shares of Otis Worldwide Corporation common stock to the holders of United Technologies Corporation common stock was at the close of business on March 19, 2020. The distribution of the Otis Worldwide Corporation shares is scheduled to occur on April 3, 2020.

F1 · balance_after: The record date for the distribution by United Technologies Corporation of 100% of the shares of Otis Worldwide Corporation common stock to the holders of United Technologies Corporation common stock was at the close of business on March 19, 2020. The distribution of the Otis Worldwide Corporation shares is scheduled to occur on April 3, 2020.